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Ubs Financial Services Inc. CRD 8174
$916B regulatory AUM 18,245 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2025-06-10 |
| TX | RA | APPROVED_RES | 2016-04-11 |
| SC | RA | APPROVED | 2015-03-26 |
Branch Locations
One Hallbrook Place 11150 Overbrook Road, Leawood, KS 66211-2298 • United States
941 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464 • United States
4622 Pennsylvania Avenue 8Th Floor, Kansas City, MO 64112 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Charleston | SC | 03/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1986-04-17 |
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